Regulatory Compliance Insights with SQL
Group Category: Use Case
Product Category: Database Design & Development
Sub Category: PostgreSQL
Transform raw regulatory data into strategic insights with real-world SQL use cases.
Business Overview:
Regulatory Compliance Insights with SQL provides a practical gateway for data analysts, compliance teams, and regulatory professionals to sharpen their SQL skills using authentic financial sector datasets. Through 4 carefully crafted use cases, you’ll explore critical oversight topics such as employer dominance, registration lifecycle trends, disciplinary action profiling, and professional activity analysis. Built on a 13-table PostgreSQL-ready dataset, this product simulates high-stakes regulatory scenarios—ideal for internal training, portfolio development, or compliance-focused business intelligence initiatives.
Product Highlights:
- A curated PDF guide featuring 4 SQL use cases grounded in regulatory and operational analysis
- PostgreSQL-compatible dataset with 13 interlinked tables covering employment, registration, and compliance data
- Scenario themes include employer profiling, registration monitoring, and regulatory flag tracking
- Includes practical case structures ideal for workshops, self-paced upskilling, or proof-of-concept projects
- Designed for analysts in compliance, audit, fintech, or regulatory policy domains
Learning Outcomes:
By completing the included SQL use cases, you will:
- Gain fluency in SQL constructs including multi-table JOINs, subqueries, GROUP BY, HAVING, and date operations
- Develop the ability to analyze core regulatory metrics such as registration activity, employment footprint, and disciplinary frequency
- Learn to navigate and interpret financial services data models and schema relationships
- Apply SQL for real-time compliance analytics, operational oversight, and reporting initiatives
Use Case Document
| PDFThis document includes SQL-based use cases aimed at analyzing financial professionals and organizational data for regulatory compliance and operational insights.
- Covers use cases like employer size analysis, registration category segmentation, recent status changes, and comprehensive professional profiling.
- Develops SQL skills in joins, aggregation, subqueries, date/time functions, and data filtering.
- Ideal for compliance analysts, data professionals, and regulatory teams working with financial industry data.
- Supports due diligence, regulatory monitoring, and strategic oversight using real-world structured datasets.
current_employers_raw
| CSVThis dataset provides structured information on current employers of financial professionals, including organization names and affiliations.
- Enables organizational mapping, geographic coverage analysis, and branch-level insights.
- Supports analysis of industry structure, concentration, and workforce scale.
- Useful for identifying firms with large-scale operations or complex multi-location setups.
current_registrations_raw
| CSVThis file contains data on professional designations and qualifications held by individuals.
- Supports evaluation of credential distribution and specialization levels.
- Useful for building enriched professional profiles and understanding qualification trends.
- Ideal for segmentation analysis, hiring decisions, and compliance credential checks.
disciplinary_records_raw
| CSVThis dataset captures disciplinary actions taken against financial professionals, including dates and reasons.
- Enables integrity profiling, background checks, and regulatory risk assessments.
- Supports detection of compliance breaches and trend analysis on misconduct.
- Useful for high-risk professional identification and oversight planning.
individuals_raw
| CSVThis foundational dataset includes personal and identification details of financial professionals.
- Core table for joining with other datasets like registrations, employment, and disciplinary records.
- Enables analysis of naming completeness, suffixes, and profile accuracy.
- Supports detailed professional identity verification and profile enrichment.
$2.00 $1.20 40% OFF
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